Job Description
Join RBC Direct Investing as an Associate Director of Compliance in Toronto. Utilize your in-depth knowledge of securities regulations to facilitate business objectives and ensure regulatory adherence.
This vital role involves managing compliance oversight for order execution and robo-advisory services. You'll provide essential advisory support to senior management and front-line staff, conduct thorough compliance reviews, and develop training programs tailored to business needs. Your contribution will ensure that RBC Direct Investing operates within stringent regulatory standards.
Key Responsibilities: • Identify and monitor securities regulatory risks • Deliver compliance advisory services across divisions • Lead compliance risk assessments for new initiatives • Develop compliance policies and training materials • Conduct reviews on various compliance matters
Requirements: • Proven ability to analyze risk versus regulatory needs • Outstanding communication ...
This vital role involves managing compliance oversight for order execution and robo-advisory services. You'll provide essential advisory support to senior management and front-line staff, conduct thorough compliance reviews, and develop training programs tailored to business needs. Your contribution will ensure that RBC Direct Investing operates within stringent regulatory standards.
Key Responsibilities: • Identify and monitor securities regulatory risks • Deliver compliance advisory services across divisions • Lead compliance risk assessments for new initiatives • Develop compliance policies and training materials • Conduct reviews on various compliance matters
Requirements: • Proven ability to analyze risk versus regulatory needs • Outstanding communication ...